DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
A•••• I••••••••• U• I•••
Latest filing Mar 30, 2026
First filing on the tape Apr 4, 2016 · 19 filings
SEC status approved since Apr 8, 2016
RAUM
$5.8B
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$5.8B as of Mar 30, 2026
Mar 31, 2017$421M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 31, 20170 then
Employees (5.A)17 as of Mar 30, 2026
Mar 31, 20175 then
Private funds8 as of Mar 30, 2026
Mar 31, 20173 then
RAUM +4.1% over the last fiscal year+9.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $729MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $5.8B, 8 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$5.8B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.8B for 8 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••• U• L• | Hedge Fund | $3.8B | 9 | Jan 10, 2014 |
| A•••••• U• I• L• | Hedge Fund | $1.1B | 10 | Mar 29, 2018 |
| H•••••• S•• L•• | Private Equity Fund | $694M | 2 | Mar 31, 2021 |
| A•••• U• W••• H••••• L•• | Private Equity Fund | $546M | 5 | Mar 30, 2016 |
| A•••••• U• •••• L• | Hedge Fund | $534M | 1 | Mar 31, 2021 |
| A•••••• N• I• L• | Hedge Fund | $357M | 3 | Mar 30, 2020 |
| A•••• B•••••• L•• | Private Equity Fund | $184M | 2 | Mar 29, 2018 |
| B•• E• C••••••• L• | Private Equity Fund | $60.7M | 10 | Mar 29, 2024 |
| A•••• S•••• C•••• L• | Private Equity Fund | $24.6M | 2 | Mar 31, 2017 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• P•••• · Vice President & Senior Investment Directorcontrolsince 11/2012 · owns less than 5%
- L••••••••• J••• E••• · Chief Legal And Compliance Officer & Secretarycontrolsince 01/2021 · owns less than 5%
- M••••••• S••••••• · Directorcontrolsince 11/2012 · owns less than 5%
- V•••••• T•••••• · Presidentcontrolsince 08/2015 · owns less than 5%
- A•••••• P••••• · Shareholder, Sole Director & Sole Officercontrolsince 11/2008 · owns 75% or more of G•••••• D••••••••• A•••• I• I•••
Entity owners
- A•••• I••••••••• I••• · Sole Stockholderdirect · owns 75% or more
- G•••••• D••••••••• A•••• I• I••• · Shareholderindirect · owns 25% to 50% of A•••• I••••••••• I•••
Related persons
Schedule D 7.A
- A•••••• U• •••• P•••••• L••investment adviserbankpooled vehicle sponsory
- A•••••• U• I• P•••••• L••investment adviserbankpooled vehicle sponsory
- A•••• E• C••••••• G• L••investment adviserpooled vehicle sponsory
- A•••• I••••••••• I•••investment adviserbankpooled vehicle sponsoryRAUM $9.3B
- A•••• N• I• P•••••• L••investment adviserbankpooled vehicle sponsory
- A•••• S•••• C•••• L••investment adviserpooled vehicle sponsory
- A•••• U• P•••••• L••investment adviserbankpooled vehicle sponsory
Advisers that list A•••• I••••••••• U• I••• as a related person
- 286454 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 9 to 8Mar 28, 2025 to Mar 30, 2026
- Advisory employees · 16 to 17Mar 28, 2025 to Mar 30, 2026
- Pooled vehicle clients · 9 to 8Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $5.6B to $5.8BMar 28, 2025 to Mar 30, 2026
- Employees · 16 to 17Mar 28, 2025 to Mar 30, 2026
- Private funds · 9 to 8Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $4.8B to $5.3BMar 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $795M to $513MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $5.6B to $5.8BMar 28, 2025 to Mar 30, 2026
- RAUM · $5.6B to $5.8BMar 28, 2025 to Mar 30, 2026
- Advisory employees · 14 to 16Jul 1, 2024 to Mar 28, 2025
- Assets in custody · $5.2B to $5.6BJul 1, 2024 to Mar 28, 2025
- Employees · 14 to 16Jul 1, 2024 to Mar 28, 2025
- Financial planning clients · unset to Jul 1, 2024 to Mar 28, 2025
- Discretionary RAUM · $4.4B to $4.8BJul 1, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $792M to $795MJul 1, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $5.2B to $5.6BJul 1, 2024 to Mar 28, 2025
- RAUM · $5.2B to $5.6BJul 1, 2024 to Mar 28, 2025
- Accounts · 8 to 9Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 8 to 9Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $4.5B to $5.2BMar 31, 2023 to Mar 29, 2024
- Private funds · 8 to 9Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $3.8B to $4.4BMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $690M to $792MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $4.5B to $5.2BMar 31, 2023 to Mar 29, 2024
- RAUM · $4.5B to $5.2BMar 31, 2023 to Mar 29, 2024
- Advisory employees · 12 to 14Apr 20, 2022 to Mar 31, 2023
- Assets in custody · $3.2B to $4.5BApr 20, 2022 to Mar 31, 2023
- Employees · 12 to 14Apr 20, 2022 to Mar 31, 2023
- Discretionary RAUM · $2.6B to $3.8BApr 20, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $541M to $690MApr 20, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $3.2B to $4.5BApr 20, 2022 to Mar 31, 2023
- RAUM · $3.2B to $4.5BApr 20, 2022 to Mar 31, 2023
- Advisory employees · 10 to 12Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $1.9B to $3.2BMar 31, 2021 to Mar 31, 2022
- Employees · 10 to 12Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.4B to $2.6BMar 31, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $487M to $541MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.9B to $3.2BMar 31, 2021 to Mar 31, 2022
- RAUM · $1.9B to $3.2BMar 31, 2021 to Mar 31, 2022
Signals
6 dated events
- A•••• I••••••••• U• I••• reported RAUM $4.5B, up 41% from $3.2B (2022-04-20 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- A•••• I••••••••• U• I••• reported RAUM $3.2B, up 66% from $1.9B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- A•••• I••••••••• U• I••• reported RAUM $1.9B, up 46% from $1.3B (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- A•••• I••••••••• U• I••• reported RAUM $1.1B, up 55% from $707.1M (2018-04-30 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- A•••• I••••••••• U• I••• reported RAUM $669.7M, up 59% from $421.0M (2017-09-05 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- A•••• I••••••••• U• I••• filed its initial SEC registration (Form ADV)Apr 4, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••• I••••••••• U• I••• · Independent Sponsorsshared crd · capital_provider
- A•••• I••••••••• U• I••• · Private Equityshared crd · organization
- A•••• I••••••••• U• I••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- A••••INFRA.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-449-9058reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026